Office of Hearing Officers’ Decisions and Orders
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| October 25, 2012 | 2008016437801 | Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III | Disciplinary Decision | |
| October 23, 2012 | 2011026664301 | Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer | Disciplinary Order | 12-06 |
| October 22, 2012 | 2010025132201 | Hearing Panel Decision in Department of Enforcement v. Amy Siesennop | Disciplinary Decision | |
| October 17, 2012 | 2010024320101 | Order to Provide Verification in Support of Request for Continuance of Hearing | Disciplinary Order | 12-05 |
| October 12, 2012 | 2009018771602 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| September 28, 2012 | 2008012925001 | Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision | |
| September 28, 2012 | 2009019837302 | Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier | Disciplinary Decision | |
| September 18, 2012 | 2008014015901 | Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare | Disciplinary Decision | |
| August 30, 2012 | 2010023367001 | Order Denying Respondent 1’s Motion to Compel Production of Withheld Documents | Disciplinary Order | 12-04 |
| August 28, 2012 | 2008013863702 | Extended Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| August 23, 2012 | 2008015617902 | Hearing Panel Decision in Department of Enforcement v. Thomas H. Morrow | Disciplinary Decision | |
| August 02, 2012 | 20070094044 | Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush | Disciplinary Decision | |
| July 26, 2012 | 2009018076101 | Hearing Panel Decision in Department of Enforcement v. Blair A. West | Disciplinary Decision | |
| July 20, 2012 | FPI110005 | Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener | Expedited Decision, Rule 9550 Expedited Decisions | |
| July 09, 2012 | 20100214065-01 | Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre | Disciplinary Decision | |
| July 06, 2012 | 2010024889501 | Order Granting Department of Enforcement’s Motion Regarding Sequestration of FINRA Staff Witnesses | Disciplinary Order | 12-03 |
| July 02, 2012 | 20070082049 | Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane | Disciplinary Decision | |
| June 14, 2012 | 2009019369302 | Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng | Disciplinary Decision | |
| June 08, 2012 | 2007008724701 | Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson | Disciplinary Decision | |
| May 31, 2012 | 2007011413501 | Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy | Disciplinary Decision | |
| May 10, 2012 | 2009017918001 | Hearing Panel Decision in Department of Enforcement v. John D. Rausch | Disciplinary Decision | |
| May 03, 2012 | 20060053785-02 | Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake | Disciplinary Decision | |
| April 27, 2012 | 2008014969001 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 05, 2012 | 2011029760201 | Order Denying Respondent’s Motion for Leave to Serve Limited Discovery | Disciplinary Order | 12-02 |
| April 04, 2012 | 20050007427 | Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason | Disciplinary Decision |